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Richard Alan Rosen

Pinnacle Associates, Ltd.

New York, NY

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Current Employers
Pinnacle Associates, Ltd.

286 Madison Avenue 20Th Floor, New York, NY 10017 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-08-31
NJ RA APPROVED 2018-07-24
  • NY RA
    APPROVED
    Since 2021-08-31
  • NJ RA
    APPROVED
    Since 2018-07-24

Branch Locations

286 Madison Avenue 20Th Floor, New York, NY 10017 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Satucket Capital Management, Llc Summit NJ 02/2016 03/2018
Pinnacle Associates, Ltd New York NY 03/2018 Present
  • 02/2016 → 03/2018
    Satucket Capital Management, Llc
    Summit, NJ
  • 03/2018 → Present
    Pinnacle Associates, Ltd
    New York, NY
Previous Registrations
  • 2016-04-15 → 2019-01-07
    Satucket Capital Management, Llc
    Summit, NJ
  • 2013-12-12 → 2016-02-11
    Td Private Client Wealth Llc
    Bernardsville, NJ
  • 2012-09-19 → 2013-11-26
    Satucket Capital Management, Llc
    Summit, NJ
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2014-01-15
S65 Uniform Investment Adviser Law Examination 1992-12-22
  • S63 Uniform Securities Agent State Law Examination
    2014-01-15
  • S65 Uniform Investment Adviser Law Examination
    1992-12-22
Designations

View on SEC IAPD

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Other Offices

ISLET MANAGEMENT, LP · NEW YORK, NY
P2 CAPITAL PARTNERS, LLC · NEW YORK, NY
KINYAN CAPITAL MANAGEMENT LLC · NEW YORK, NY
BRIGHTSPIRE CAPITAL ADVISORS, LLC · NEW YORK, NY
ACORN ADVISORY CAPITAL, L.P. · NEW YORK, NY
COMPASS GROUP LLC · NEW YORK, NY
CRESTVIEW PARTNERS · NEW YORK, NY
LEEDS EQUITY PARTNERS · NEW YORK, NY

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